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KONG Tai Wai, Ernest

江泰瑋
CE AWE576Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KONG Tai Wai, Ernest (CE number AWE576) is an individual licensed by the Hong Kong SFC. First licensed on 2010-11-22. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSinoPac Securities (Asia) Limited
永豐金證券(亞洲)有限公司

Licence Record (5)

2023-03-16 – present Current
SinoPac Securities (Asia) Limited RO
RA 1 RA 2
2023-02-16 – 2023-03-16
SinoPac Securities (Asia) Limited Rep
RA 1 RA 2
2016-02-01 – 2019-02-27
SG Securities (HK) Limited Rep
RA 1 RA 2
2010-11-22 – 2016-04-29
SG Asset Finance (Hong Kong) Limited Rep
RA 1 RA 2
2010-11-22 – 2016-07-29
Newedge Broker Hong Kong Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AWE576